Job Description

The Strategic Advisor in Member Supervision’s Strategic Intelligence & Analytics program (StratIntel) provides critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions, including building relationships with key stakeholders to leverage regulatory intelligence and analytics to identify and address emerging risks, threats, and trends; collaborating with leaders across the organization to encourage intelligence sharing, and serving as a subject matter expert and thought leader in the StratIntel space. This role requires expertise and experience in identifying both threat and strategic intelligence to inform regulatory activities across FINRA. This role is essential to enabling the StratIntel leadership team to effectively develop and execute on strategy, drive outcomes on behalf of the Department, liaise with key partners and government agencies, as well as achieve the goals, objectives, and priorities of the department.

Essential Job Functions:

• Serve as a key member of the senior management team for the Department. Work closely with the SVP and the senior management team to effectively manage and support the strategic operations of the department, and act as a strategic thought partner and trusted advisor.
• Serve as point of contact and intermediary for operational, regulatory and policy issues that arise that would otherwise require the attention or involvement of the SVP. Assess issues that impact the Department and determine the proper course of action. Identify, assess, and analyze high risk and urgent issues requiring the attention of the SVP and present such issues and proposed solution(s) in an organized and succinct manner.
• Develop and maintain effective relationships with senior leaders throughout the organization and with external FINRA constituents including the SEC, criminal authorities, and state regulators as needed.
• Serve all levels of the senior management team in the areas of synthesizing internal and external stakeholder feedback and providing guidance and advice on a broad set of operational and regulatory initiatives including career development, diversity, inclusion, and leadership initiatives.
• Serve as point of contact and lead the efforts to respond to stakeholder needs across FINRA (e.g., ad hoc requests, Annual Report input, identifying SMEs with engaging and effective communication skills to be speakers at FINRA conferences, advisor committee(s), external engagements, aggregating feedback for proposed rules, etc.) for the Department.
• Evaluate business unit structures and processes and assess issues that serve as barriers to operational effectiveness and efficiency. Participate in department governance groups related to projects and high-risk areas, driving decisions and steering implementation involving projects and initiatives, creation of new programs and improvements, or streamlining of existing programs.
• Lead strategic goal setting and OKRs for the Department.
• Lead and partner with key business partners to develop Executive Reporting for MS leadership, to manage and track the success of the programs. Identify and build out supervisory tools and operational metrics to monitor the programs, as needed.
• Collaborate with key business partners to identify, develop, and respond to rule change management issue to include rules impact analysis; policy/procedure content creation/ coordination with Regulatory Programs and within department; identify/develop relevant control environment; and content approval.
• Collaborate with key business partners in the coordination for new and existing rules implementation, end-to-end process controls review, and related assessments.
• Work with the SVP and the senior management team to finalize cohesive responses and manage SEC oversight inspections, FINRA internal audits, and other internal reviews. Actively manage issues in determining appropriate action plan and tracking remediation/resolution within agreed upon timelines.
• Develop presentations, reports including board and Management Committee reporting, projects plans and metrics.
• Work closely with the SVP and the senior management team in managing staffing and budgets.
• Orchestrate and facilitate department events, including meeting agendas, logistics, and follow-up, involving the SVP and the senior management team and across the organization when necessary.
• Represent the SVP at meetings and events with internal and external stakeholders when necessary.
• Work with appointed Regulatory Liaisons across the department on a variety of non-oversight access request and regulatory oversight production issues when appropriate.
• Serve as a point of contact for Department issues with regards to Code of Conduct policy, conflict, and reporting inquiries.
• Work with other FINRA departments including Investor Education and Corporate Communications to formulate FINRA’s response to threats, issues and trends that pose a risk of ongoing investor harm.

Education/Experience Requirements:

• MBA, JD, other graduate degree and/or relevant industry certification(s) considered.
• Bachelor's Degree or an equivalent combination of education and experience required. Major in Accounting, Finance, Economics, Business Administration, or related fields preferred.
• Proven record of acting independently in an unstructured environment to identify and address challenges, make risk-based decisions, develop new initiatives, and strengthen existing programs.
• Significant securities, compliance, or financial regulatory experience.
• Functional knowledge of FINRA's risk hierarchy and how it relates to the firm groups.
• Advanced knowledge of firm group business models, business lines, customer bases, products, and services.
• Advanced knowledge of rule changes and interpretations and how they relate to the firm groups.
• Advanced knowledge of industry wide events and trends.
• Expert knowledge of FINRA departments and their mandates.
• Proven record of creating and providing executive level reporting using metrics, analysis, and data analytics.
• Experience making internal and external presentations as a subject matter expert.
• Substantial knowledge of, and experience with, the regulation and operation of U.S. broker-dealers, as well as familiarity with the broader landscape of financial regulation.
• Strong collaborator and team builder, with excellent written and verbal communication, interpersonal, and presentation skills.
• Exceptional organizational skills, with an attention to detail and an ability to administer multiple complex assignments concurrently and execute against tight deadlines.
• Excellent leadership skills, including a proven track record of making data-informed and intelligence driven decisions in a timely manner.
• Proven record of project management, process improvement and goal attainment skills, as well as producing high quality written work product.

Working Conditions:

• Work is normally performed in a hybrid office environment.
• Extended hours and travel may be required.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons .

CA: Minimum Salary $171,900, Maximum Salary $351,200

CO/HI/MN/VT*: Minimum Salary $149,600, Maximum Salary $292,600

IL*: Minimum Salary $164,500, Maximum Salary $322,200

Jersey City, NJ/NYC, NY: Minimum Salary $179,600, Maximum Salary $351,200

MA/WA: Minimum Salary $149,600, Maximum Salary $336,600

MD/Washington, DC: Minimum Salary $171,900, Maximum Salary $336,600

NJ: Minimum Salary $164,500, Maximum $351,200

NY: Minimum Salary $149,600, Maximum Salary $351,200

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's Employee Relations team at 240.386.4865 or by email at   EmployeeRelations@finra.org.   Please note that this process is exclusively for inquiries regarding application accommodations. 

Employees may be eligible for a discretionary bonus in addition to base pay. Non-exempt employees are also eligible for overtime pay in accordance with federal, state, or local law. As part of its dedication to employee wellness, FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement, commuter benefits, and other benefits that support employee wellness, such as adoption assistance, backup family care, surrogacy benefits, employee assistance, and wellness programs.

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days, unless otherwise required by law (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here .

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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Job Tags

Holiday work, Permanent employment, Full time, Temporary work, For contractors, For subcontractor, Local area, Immediate start,

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